SEC
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations (such as Regulation Best Interest), enforcement actions and related activities.
Barclays to Shut 21 ETNs a Year After 'Staggering' Note Blunder
By Katie GreifeldThe SEC says Barclays sold about $17.7 billion of securities in unregistered transactions; it agreed to pay $361 million to resolve the charges.
April 14, 2023
FINRA's Expungement Rules Just Got TougherThe new rule imposes stricter standards on "straight-in" expungements and sets up a special roster of arbitrators.
April 13, 2023
Does Reg BI Mean the Death of Broker-Dealers?For advisors, the issue going forward is if they stay away from transaction-based products in favor of a strictly fee-based approach.
April 10, 2023
Firm Founder Sentenced to 15 Years in Prison For FraudThe ex-Infinity Q Capital Management CIO was sentenced for his role in a mismarking scheme.
April 06, 2023
Reg D Changes Are a Bad Idea: SEC RoundupMorgan and Zaccaro talk with venture capital advocate Justin Field about potential SEC changes to these small offerings.
April 03, 2023
Merrill to Pay $9.5M Over Undisclosed FeesThe firm paid part of these foreign exchange fees to advisors, referring to them as commissions in internal documents, the SEC says.
April 03, 2023
Do a 'Mock Audit' Now Before SEC Comes Knocking: Compliance ProFrontLine Compliance's Amy Lynch talks about today's top compliance issues and how advisors can prepare for what's ahead.
March 29, 2023
SEC Could Hire More RIA Examiners With Budget Boost: GenslerSignificant growth in RIAs "stretches thin the limited resources" of the exam division, SEC chairman tells lawmakers.